Results 11 to 15 of 110

Reminder of Annual Requirements for Investment Managers - 2019

USA - January 25 2019 An Investment Manager that is registered with the SEC as an investment adviser (a “Registered Manager”) under the Investment Advisers Act of 1940, as…

Glen P. Barrentine, John T. Albers, Aimee A. Albright, John P. Alexander, Jonathan T. Ammons, Terry S. Arbit, Cole Beaubouef, J. Wade Challacombe, Megan M. Devaney, Shawn R. Durrani, Christine A. Edwards, Daniel A. Filstrup, Margaret Lomenzo Frey, Richard E. Ginsberg, Basil V. Godellas, Morton E. Grosz, Winston Hao Gu, Francesca M.S. Guerrero, Jacqueline P. Hu, Rachel Ingwer, Mary E. Jardine, Brian J. Kozlowski, Beth R. Kramer, Michael L. Loesch, Julius L. Loeser, Breanne K. Long, Bradley S. Mandel, Andrew J. McDonough, Sharon Mori, Scott W. Naidech, Joseph H. Nesler, Kate L. Price, Zachariah A. Robert, Alan B. Roth, Bradley T. Schlotter, Dania S. Sharma, Alessandra V. Swanson, Gregory M. Weston, Michael G. Wu

Financial Services Update, Vol. 13, Issue 38

European Union, USA - October 18 2018 In an October 3, 2018 speech, Steven Peikin, the SEC Co-Director of Enforcement, expressed concern that many critics tend to evaluate the SEC’s…

John P. Alexander, Basil V. Godellas

Financial Services Update, Vol. 12, Issue 1

USA - January 9 2017 Last week, the Financial Industry Regulatory Authority, Inc. (“FINRA”) released its Annual Regulatory and Examination Priorities Letter (“Priorities…

Glen P. Barrentine, Basil V. Godellas

Financial Services Update, Vol. 12, Issue 21

European Union, United Kingdom, USA - May 22 2017 Last week, it was announced that hackers had engaged in a widespread attack using ransomware called WannaCry, WCry, or Wanna Decryptor in which all…

Basil V. Godellas, Sterling Sears

Financial Services Update, Vol. 12, Issue 8

European Union, United Kingdom, USA - February 27 2017 Dodd-Frank Act reform was one of President Trump’s campaign promises, as he considered it a restraint on credit availability and, thus, a drag on…

Jessica Mifflin Harkins Brown, Basil V. Godellas